Financials May 16, 2022 07:10 AM (GMT+8) · EqualOcean
The "gatekeeper" was not responsible enough, and some securities companies were punished. Recently, Jiangsu securities regulatory bureau and Guizhou securities regulatory bureau respectively issued regulatory measures for Shengang securities and Huaying securities. The reasons for the punishment are related to the investment banking business. According to statistics, as of press time, more than 20 securities companies were subject to regulatory penalties during the year. Among them, investment banking, brokerage and asset management are the focus of supervision, and more than 40 fines related to violations of securities companies' investment banking business.

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